The chairwoman of the U.S. Securities and Exchange Commission is warning broker-dealer firms to be careful with their recruitment efforts, especially when they involve up-front bonuses and other inducements.

Mary …  Read →

A group representing investment advisors is asking the U.S. Securities and Exchange Commission to keep the Financial Insurance Regulatory Authority (FINRA) from expanding its regulatory authority by getting involved in …  Read →

Lincoln Financial Network has added Radnor, Pa.-based DSE Capital Management as an affiliate.

The marketing arm of the retail sales and financial planning affiliates of Lincoln Financial Group said DSE Capital …  Read →

The recession and sagging stock market of the last 10 months has caused “significant deterioration” in investment results for U.S. life insurance companies, according to a new Fitch Ratings report.

The …  Read →